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View More North American Professional Liability Insurance Agency [NAPLIA] Webcasts and Conferences

Steps to Maintaining ERISA Compliance for Broker Dealers and Investment Advisers

North American Professional Liability Insurance Agency [NAPLIA]

Aug. 15, 2014
Recorded Online

NAPLIA and ERISA attorney, Kim Shaw Elliott of Baugh Dalton Carlson & Ryan, outline ERISA fundamentals and doing business with retirement plans.

In Steps to Maintaining ERISA Compliance we address these pressing questions:

- Why a properly-written service agreement that spells out your fiduciary and non-fiduciary activities is critical to a proper defense in a fiduciary claim or regulatory complaint.

- Why you should fully understand your 408(b)2 disclosures.

- For long-term 3(21) advisors, what you should be concerned about and why you should consider transitioning to be a 3(38) advisor.

ERISA attorney Kim Shaw Elliott, of Baugh, Dalton, Carlson, & Ryan recently partnered with NAPLIA to present the webinar, Steps to Maintaining ERISA Compliance for Broker Dealers and Investment Advisers.

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